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JF

John L. Flood

Some features on this profile are disabled
CRD#: 1161629
JF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Lawrence Flood was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1983. John had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 11, 2021 - January 5, 2026

EXCELSIOR EQUITIES

BD
CRD#: 309158
DENVER, CO
Past

August 23, 2002 - March 11, 2019

CRAIG-HALLUM CAPITAL GROUP LLC

BD
CRD#: 121395
MINNEAPOLIS, MN
Past

February 25, 1998 - May 23, 2002

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

October 7, 1997 - April 6, 1998

MJK CLEARING, INC.

BD
CRD#: 8678
MINNEAPOLIS, MN
Past

June 24, 1994 - October 8, 1997

COLLIERS SECURITIES LLC

BD
CRD#: 7477
MINNEAPOLIS, MN
Past

July 17, 1989 - July 1, 1994

MJK CLEARING, INC.

BD
CRD#: 8678
MINNEAPOLIS, MN
Past

April 6, 1987 - July 18, 1989

MCCLEES INVESTMENTS, INC.

BD
CRD#: 18316
Past

September 13, 1985 - April 16, 1987

J.W. MCCLEES AND COMPANY, INC.

BD
CRD#: 5971
Past

June 15, 1984 - September 6, 1985

PAGEL INC.

BD
CRD#: 6007
Past

January 27, 1984 - June 7, 1984

AMERICAN FRONTEER FINANCIAL CORPORATION

BD
CRD#: 1398
Past

September 7, 1983 - January 18, 1984

SUBURBAN SECURITIES, INC.

BD
CRD#: 8543

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/1997
General Securities Principal Examination

Current Firm

EE
EXCELSIOR EQUITIES
EXCELSIOR EQUITIES | EXCELSIOR EQUITIES, LLC

CRD#: 309158 / SEC#: , 8-70533

BD
Terminated by SEC on 01/04/2026
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 12/23/2019
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FLOOD, JOHN LAWRENCECEO/OWNER AND CHIEF COMPLIANCE OFFICER1161629
REGAN, MICHAEL JOHNPARTNER
DRAGOS, STEPHEN MARTINDIRECTOR OF TRADING1700070
RIP, OLGAFINOP5440553

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EXCELSIOR EQUITIES

CRD#: 309158

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